KITT

SEC source: 0001213900-22-056035 · ownership.xml · derivative · entry 1

Yamokoski John · CIK 0001944944 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,401

Underlying: Common Stock · 177,401 shares

Expires not disclosed

F1 · derivative.exercise_date: Reflects Earn-Out Shares issued in connection with the business combination of CleanTech Acquisition Corp. ("CLAQ"), CleanTech Merger Sub, Inc., a wholly owned subsidiary of CLAQ, and Nauticus Robotics, Inc. pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 ("Merger Agreement"). Earn-Out Shares will be released as follows: (i) one-half will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $15.00 per share, over any 20 trading days within a 30-day trading period; (ii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of common stock equals or exceeds $17.50 per share over any 20 trading days within a 30-day trading period; and (iii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $20.00 per share over any 20 trading days within a 30-day trading period. Any shares not eligible to be released within five years of December 16, 2021 will be forfeited and canceled. This amendment is being filed to include the Earn-Out Shares that were inadvertently omitted from the original Form 4 filed by the Reporting Person on September 13, 2022.

F1 · derivative.expiration_date: Reflects Earn-Out Shares issued in connection with the business combination of CleanTech Acquisition Corp. ("CLAQ"), CleanTech Merger Sub, Inc., a wholly owned subsidiary of CLAQ, and Nauticus Robotics, Inc. pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 ("Merger Agreement"). Earn-Out Shares will be released as follows: (i) one-half will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $15.00 per share, over any 20 trading days within a 30-day trading period; (ii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of common stock equals or exceeds $17.50 per share over any 20 trading days within a 30-day trading period; and (iii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $20.00 per share over any 20 trading days within a 30-day trading period. Any shares not eligible to be released within five years of December 16, 2021 will be forfeited and canceled. This amendment is being filed to include the Earn-Out Shares that were inadvertently omitted from the original Form 4 filed by the Reporting Person on September 13, 2022.

SEC source: 0001213900-22-056032 · ownership.xml · derivative · entry 1

Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 738,344

Underlying: Common Stock · 738,344 shares

Expires not disclosed

F1 · derivative.exercise_date: Reflects Earn-Out Shares issued in connection with the business combination of CleanTech Acquisition Corp. ("CLAQ"), CleanTech Merger Sub, Inc., a wholly owned subsidiary of CLAQ, and Nauticus Robotics, Inc. pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 ("Merger Agreement"). Earn-Out Shares will be released as follows: (i) one-half will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $15.00 per share, over any 20 trading days within a 30-day trading period; (ii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of common stock equals or exceeds $17.50 per share over any 20 trading days within a 30-day trading period; and (iii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $20.00 per share over any 20 trading days within a 30-day trading period. Any shares not eligible to be released within five years of December 16, 2021 will be forfeited and canceled. This amendment is being filed to include the Earn-Out Shares that were inadvertently omitted from the original Form 4 filed by the Reporting Person on September 13, 2022.

F1 · derivative.expiration_date: Reflects Earn-Out Shares issued in connection with the business combination of CleanTech Acquisition Corp. ("CLAQ"), CleanTech Merger Sub, Inc., a wholly owned subsidiary of CLAQ, and Nauticus Robotics, Inc. pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 ("Merger Agreement"). Earn-Out Shares will be released as follows: (i) one-half will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $15.00 per share, over any 20 trading days within a 30-day trading period; (ii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of common stock equals or exceeds $17.50 per share over any 20 trading days within a 30-day trading period; and (iii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $20.00 per share over any 20 trading days within a 30-day trading period. Any shares not eligible to be released within five years of December 16, 2021 will be forfeited and canceled. This amendment is being filed to include the Earn-Out Shares that were inadvertently omitted from the original Form 4 filed by the Reporting Person on September 13, 2022.

SEC source: 0001213900-22-055766 · ownership.xml · derivative · entry 2

Yamokoski John · CIK 0001944944 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,034

Underlying: Common Stock · 71,034 shares

Expires 2031-12-31

F2 · shares: Employee stock options were initially granted on December 16, 2021 under the 2015 Equity Incentive Plan. 25% of the options are exercisable on December 16, 2022, with the remainder being exercisable pro rata over the subsequent 36 months.

F2 · derivative.exercise_date: Employee stock options were initially granted on December 16, 2021 under the 2015 Equity Incentive Plan. 25% of the options are exercisable on December 16, 2022, with the remainder being exercisable pro rata over the subsequent 36 months.

F2 · derivative.expiration_date: Employee stock options were initially granted on December 16, 2021 under the 2015 Equity Incentive Plan. 25% of the options are exercisable on December 16, 2022, with the remainder being exercisable pro rata over the subsequent 36 months.

F2 · derivative.underlying_shares: Employee stock options were initially granted on December 16, 2021 under the 2015 Equity Incentive Plan. 25% of the options are exercisable on December 16, 2022, with the remainder being exercisable pro rata over the subsequent 36 months.

F2 · balance_after: Employee stock options were initially granted on December 16, 2021 under the 2015 Equity Incentive Plan. 25% of the options are exercisable on December 16, 2022, with the remainder being exercisable pro rata over the subsequent 36 months.

SEC source: 0001213900-22-055763 · ownership.xml · derivative · entry 2

Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,992

Underlying: Common Stock · 536,992 shares

Expires 2031-12-16

F2 · shares: Employee stock options were initially granted on December 16, 2021 under the 2015 Equity Incentive Plan. 25% of the options are exercisable on December 16, 2022, with the remainder being exercisable pro rata over the subsequent 36 months.

F2 · derivative.exercise_date: Employee stock options were initially granted on December 16, 2021 under the 2015 Equity Incentive Plan. 25% of the options are exercisable on December 16, 2022, with the remainder being exercisable pro rata over the subsequent 36 months.

F2 · derivative.expiration_date: Employee stock options were initially granted on December 16, 2021 under the 2015 Equity Incentive Plan. 25% of the options are exercisable on December 16, 2022, with the remainder being exercisable pro rata over the subsequent 36 months.

SEC source: 0001213900-22-055765 · ownership.xml · derivative · entry 3

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · CleanTech Sponsor I LLC

Disclosed balance after: 4,783,333

Underlying: Common Stock · 450,000 shares

Expires 2026-07-14

F4 · derivative.underlying_shares: The securities were acquired in connection with the underwriter's non-concurrent exercise of its over-allotment option on July 28, 2021, in connection with the initial public offering of CLAQ on July 19, 2021.

F2 · ownership.direct: Shares held directly by CleanTech Sponsor I LLC. The Reporting Person, as the managing member of CleanTech Sponsor I LLC, may be deemed to share voting and dispositive power over the shares held by CleanTech Sponsor I LLC. The Reporting Person disclaims beneficial ownership of shares held by CleanTech Sponsor I LLC, except to the extent of any pecuniary interest therein.

SEC source: 0001213900-22-055765 · ownership.xml · derivative · entry 2

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · CleanTech Sponsor I LLC

Disclosed balance after: 4,333,333

Underlying: Common Stock · 4,333,333 shares

Expires 2026-07-14

F3 · derivative.underlying_shares: The securities were acquired in connection with the initial public offering of CLAQ on July 19, 2021.

F2 · ownership.direct: Shares held directly by CleanTech Sponsor I LLC. The Reporting Person, as the managing member of CleanTech Sponsor I LLC, may be deemed to share voting and dispositive power over the shares held by CleanTech Sponsor I LLC. The Reporting Person disclaims beneficial ownership of shares held by CleanTech Sponsor I LLC, except to the extent of any pecuniary interest therein.